DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Registered advisor

M••• M• B••••••

J••• M••••• S••••••••• L••wirehouseNew York, Nydual registrantIAPD 6148531

Certified Financial Planner

Feed of 09/14/2026

Also filed as M••• M• B••••••

At current firm

3 y

since Jul 15, 2023

In the industry

13 y

since Jun 19, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since Jul 15, 2023 · New York, Ny
M••••• S•••••• wirehouse
Apr 3, 2023 to Jun 29, 2023 · New York, Ny
J••• M••••• P•••••• W••••• A••••••• L•• former
Jul 31, 2020 to May 1, 2023 · New York, Ny
J••• M••••• S••••••••• L•• wirehouse
Jan 14, 2016 to Aug 3, 2020 · New York, Ny
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Dec 19, 2014 to Dec 18, 2015 · Tarrytown, Ny
E•••••••• A•••••••• L•• national BD
Jul 2, 2013 to Sep 19, 2014 · Montvale, Nj

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to J••• M••••• S••••••••• L••
left Jun 29, 2023, registered Jul 15, 2023 (16 days) · Wirehouse to wirehouse · moved with a team
J••• M••••• P•••••• W••••• A••••••• L•• to M••••• S••••••
left May 1, 2023, registered Apr 3, 2023 (-28 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
J••• M••••• S••••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••
left Aug 3, 2020, registered Jul 31, 2020 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to J••• M••••• S••••••••• L••
left Dec 18, 2015, registered Jan 14, 2016 (27 days) · Other
E•••••••• A•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Sep 19, 2014, registered Dec 19, 2014 (91 days) · Other

Signals

M••• M• B•••••• left M••••• S•••••• for J••• M••••• S••••••••• L•• (registered 2023-07-15)
Jun 29, 2023 · Advisor changed firm · fact
M••• M• B•••••• left J••• M••••• P•••••• W••••• A••••••• L•• for M••••• S•••••• (registered 2023-04-03)
May 1, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wirehousederived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address